Articles

Results 1 to 5 of 8


SEC Adopts Rule Requiring Liquidity Risk Management Programs for Funds

USA - October 24 2016 On October 13, 2016, the Securities and Exchange Commission (SEC or Commission) announced a final rule that requires open-end mutual funds (excluding…

Andrew J. Davalla, Emily M. Little, Donald S. Mendelsohn

Do’s & don’ts for advisers & funds with outsourced CCOs

USA - December 1 2015 The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a risk alert on November 9, 2015…

Andrew J. Davalla, Donald S. Mendelsohn

SEC proposes new reporting rules

USA - June 18 2015 On May 20, 2015, the Securities and Exchange Commission (SEC) proposed rules meant to modernize and enhance reporting by registered investment…

Andrew J. Davalla, Michael V. Wible

SEC proposes changes to Form ADV & recordkeeping requirements

USA - June 8 2015 On May 20, 2015, the Securities and Exchange Commission (SEC) proposed amendments to Form ADV and Rule 204-2 under the Investment Advisers Act of…

Andrew J. Davalla, Michael V. Wible

SEC enforcement action highlights profitability analysis in 15(c) process

USA - May 12 2015 In a recent administrative proceeding, the Securities and Exchange Commission settled an enforcement action against an investment adviser (Adviser)…

Andrew J. Davalla, Michael V. Wible